AWARD NASD Regulation, Inc. CASE: 98-04402 Amy M. Stemstein, claimant vs. Patterson Travis, Inc., and Jack Klein, respondents. ATTORNEYS: Claimant appeared Pro Se. - Latham, NY. Respondent Patterson Travis, Inc., appeared through Judah Wernick - Woodmere, NY. Respondent Jack Klein appeared Pro Se, Norwalk, CT. DATE FILED: November 23, 1998 CASE SUMMARY: Claimant alleged unsuitability; misrepresentation; failure to disclose material facts; guaran

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Todd R. Gmnze, Claimant, Equity Enterprises, Inc., and Equable Securities Corp., Respondents, Consolidated with: Equable Securities Corp., Claimant, A.G. Edwards & Sons, Inc.. and Todd Gmnze, Respondents. No. 98-04217 No: 98-04578 REPRESENTATION OF PARTIES Equable Seciuities Corp. ("Equable") was represented by Michael H.

AWARD. NASD Regulation, Inc. In the Matter of the Arbibration Between Name of Claimants J.M. McCanlies McCanlies Family, LLLP Cliarles Foster Brown, III, and J.B. Sadler and Wendy Sadler as trustees of the J3. Sadler, Ltd Employee Pension Trust and 98-04395 Scottsdale, Arizona Name of Respondents W.B. McKee Seciuities, Inc. Jan Charles Koontz Name of Third Party Respondents Gaiy Sherman Rita Sherman J.M. McCanlies, Mc

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Margaret McTlgue (Claimant) vs. Canadian Imperial Bank of Commerce-Wood Gundy Securities Corp. (Respondent) Case Number: 98-04385 Hearinq Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Margaret McTigue ("Claimant"): Nicholas lavarone, Esq., Bellows & Bellows, Chicago, Illinois Respondent Canadian Imperial Bank of Commerce-Wood Gundy Securities Corp. ("Respondent"),

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Marshall Johnson, (Claimant) vs. First American Equities, Inc., Richard Dearcop, Randall L. McClure, Richard Bell, and Sean Beard, (Respondents) Case Number: 98-04382 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Marshall Johnson ("Johnson"), hereinafter referred to as "Claimant": Martha M. Dwyer Esq., Law Offices of Martha M. Dwyer, New York, NY. Respondent

Award NASD Dispute Resolution, Inc. In die Matter of the Arbitration Between: Christine G. Hasslach, (Claimant) vs. Fahnestock & Co., Inc. and Eric Shames, Esq., (Respondents) Case Number: 98-04371 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Christine Hasslach ("Hasslach"), hereinafter referred to as "Claimant": Matdiew C. Gruskin, Esq., New York, NY. Claimant originally appeared pro se. Respondent, Fahnestock & Co., Inc. ("

Award NASD Regulation, Inc. In the Matter of die Arbitration Between: GKN Securities, Inc., ("Claimant") vs. Donald A. Sedy, ("Respondent") Case Number: 98-04368 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant GKN Securities, Inc., hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Kenilworth, New Jersey. Respondent Donald A. Sedy, hereinafter referred to as "Respondent" did not appear at the hearin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry J. Milton, (Claimant) vs. Global Equities Group, Inc., Quentin Quintana, Wayne Wichert and Damiano Coraci, (Respondents) Case Number: 98-04366 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Henry J. Milton, hereinafter referred to as "Claimant": Greg Scott Goodman, Esq., Goodman & Goodman, Mount Sinai, NY. Respondents, Wayne Wichert ("Wichert")

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith C. Desn^iond and Robert J. Desmond. Claimants v. Morgan Stanley Dean Witter n/k/a Morgan Stanley DW Inc. and Gayle J. Gaston, Respondents Case Number: 05-06054 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning Novat

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wang Tai-Jan, (Claimant) vs. Pacific Continental Securities Corporation, Jay Allen, Richard Bell, Gregory Rullo, and Matthew Littauer, (Respondents) Case Number: 99-03856 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wang Tai-Jan, hereinafter referred to as "Claimant": Jerome Olitt, Senior Vice- President, Arbitration & Mediation Specialists,